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Washington Salesperson Form (U4)

Washington Salesperson Form (U4)

Name: Washington Salesperson Form (U4)
Brand: US Legal Forms
Price: 59.00 USD
Rating: 4.6 (452 reviews)

Category:

Washington Secretary of State - Blue Sky - Securities

State:

Washington

Control #:

WA-SKU-1523

Format:

Instant download

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Description

Salesperson Form (U4) The Washington Salesperson Form (U4) is an employment form required by the Washington State Department of Financial Institutions. It is used to register employees of securities broker/dealers, investment advisers, and other related financial institutions in the state of Washington. The form is also used to notify the Department of any change in the registration status of the employee. The Washington Salesperson Form (U4) comprises two types: the "Uniform Application for Securities Industry Registration or Transfer" and the "Uniform Termination Notice for Securities Industry Registration." The Uniform Application is used to register new employees, while the Uniform Termination Notice is used to notify the Department of any change in the registration status of the employee. Both forms are available for download from the Washington State Department of Financial Institutions' website.

The Washington Salesperson Form (U4) is an employment form required by the Washington State Department of Financial Institutions. It is used to register employees of securities broker/dealers, investment advisers, and other related financial institutions in the state of Washington. The form is also used to notify the Department of any change in the registration status of the employee. The Washington Salesperson Form (U4) comprises two types: the "Uniform Application for Securities Industry Registration or Transfer" and the "Uniform Termination Notice for Securities Industry Registration." The Uniform Application is used to register new employees, while the Uniform Termination Notice is used to notify the Department of any change in the registration status of the employee. Both forms are available for download from the Washington State Department of Financial Institutions' website.

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FAQ

This Bylaws section grants folks up to 30 days to amend their Form U4 after learning of the facts giving cause to make an amendment, but if the amendment involves a statutory disqualification, then it must be filed within 10 days, as opposed to 30 days.

The Form U4 is the Uniform Application for Securities Industry Registration or Transfer. Representatives of broker-dealers, investment advisers, or issuers of securities must use this form to become registered in the appropriate jurisdictions and/or SROs.

Retrieving & Reviewing Form U4 Once your firm has sent a Form U4 filing to you for e-signature, a yellow banner will display in FinPro's Reminders section with a link to the filing. After clicking the Open Filing link, the filing will open read-only in another browser tab.

The Form U4 requires registered representatives to disclose if they have ever been ?convicted of or pled guilty or nolo contendere (?no contest?) in a domestic, foreign, or military court to any felony? or if they have been ?charged with any felony.? The Form U4 also requires the disclosure of any conviction, guilty

Bankruptcies, Liens, & Judgments. Do you have any unpaid judgments or liens, or have you filed for bankruptcy or reached a settlement with creditors?Update Your Address.Disclosures Involving Criminal Cases.Customer Complaints.Removing An Existing Disclosure.

Marital status and vacation home address are not items of information on Form U-4.

A Form U4 filed on behalf of an individual that has been FINRA-registered with another broker-dealer within 30 calendar days should complete all applicable sections with the exception of Section 9 (Identifying Information/Name Change), Section 10 (Other Names), Section 11 (Residential History), Section 12 (Employment

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Completing the Form U4. 1. Items 17 - 23 — Provide complete employment history for the past 10 years.Include the firm(s) noted in Section 1 (GENERAL INFORMATION) and Section 6. Means a broker-dealer under common ownership or control with the filing firm. Applicant. Means the individual for whom the Form U4 is being filed. Items 20 - 27 — COMPLETE DETAILS OF ALL EVENTS OR PROCEEDINGS ON APPROPRIATE DRP(S). Provide complete employment history for the past 10 years. As members of the securities industry, we have all completed and filed a Form U4 some of us have done it multiple times. Form U4 Uniform Application for Securities Industry. Registration or Transfer – Completing Each Item. 1.

Washington Salesperson Form (U4)

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